Rockefeller Financial LLC

Overview

Rockefeller Financial LLC is a Broker Dealer and registered investment adviser based in New York, NY, registered since 2018. It reports $99.6B in assets under management across 95,368 accounts, with 1,005 employees. Its 1,180 registered representatives work across 63 branch offices in 26 states.

Reported AUM

$99.6B

Discretionary

94%

Accounts

95,368

Average account

$1M

Employees

1,005

Registered reps

1,180

Branch offices

63

Registered since

2018

As reported in the firm's March 2026 filing.

Contact

1 phone number on file

Practice

Services

• Financial Planning
• Individuals or Small Business
• Pension Consulting
• Portfolio Management for Businesses or Institutional Clients
• Selection of Other Advisors

Client types

• Charities and Non-Profits
• Corporations/Businesses
• Government
• High Net Worth Individuals
• Individuals
• Insurance Companies
• Pension/Profit Sharing Plan

Fee structure

Fixed Fees and Percentage of Assets. Sponsors a wrap fee program.

Products and services

• Corporate Bonds
• Investment Advisory Services
• Limited Partnerships Primary Distributions
• Limited Partnerships Secondary Market
• Municipal Securities Broker
• Mutual Fund/Retailer
• Mutual Funds
• Oil & Gas Partnerships
• Options
• Private Placements
• Securities Underwriting
• Stock
• 2 more

Executive officers 3 of 5

• Edmond Nicholas Moriarty Co-Chief Executive Officer CRD 1744318
• Michael Wayne Outlaw Co-Chief Executive Officer CRD 2760690
• Deirdre Patten Kowalski Principal Financial Officer CRD 1357509

2 more executive officers, with direct contact details

Registered reps 3 of 1,180

• Gavin Samuel Abrams Registered Rep · Investment Adviser Rep CRD 6659847
• Adam S Abramson Insurance Agent · Registered Rep · Investment Adviser Rep CRD 5345373
• Cathy Lynn Achter Registered Rep · Investment Adviser Rep CRD 1468255

1,177 more registered reps, with emails, phones and branch locations

Location

Headquarters

45 Rockefeller Plz Fl 5
New York, NY 10111

County

New York

Metro area

New York-Newark-Jersey City, NY-NJ-PA

Region

Northeast

Branch offices

63 in 26 states, including Atlanta, GA, Austin, TX and Arlington, VA

Registrations

• SEC registered, limited liability company formed in Delaware
• Registered in 53 jurisdictions
• Website: rcm.rockco.com

Every state, with registration dates

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